Laws and Regulations Terms

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  1. Consumer Financial Protection Bureau - CFPB

  2. Continuation Statement

  3. Contra Proferentem Rule

  4. Corporate Charter

  5. Corporate Financing Committee

  6. Covered Security

  7. Cumis Counsel

  8. Customer Relationship Management - CRM

  9. Deed

  10. Defamation

  11. Default Judgment

  12. Deficiency Letter

  13. De Jure Corporation

  14. Delaware Corporation

  15. Delayed Draw Term Loan

  16. Del Credere Agency

  17. Demand Guarantee

  18. Demand Letter

  19. Depository Institutions Act of 1982

  20. Depository Institutions Deregulation Committee – DIDC

  21. Deregulation

  22. Design Patent

  23. Dirks Test

  24. Disclosure

  25. Dividend Drag

  26. Division Of Enforcement

  27. Dodd-Frank Wall Street Reform and Consumer Protection Act

  28. Douglas Amendment

  29. Dual Banking System

  30. Durbin Amendment

  31. Duty

  32. Earnings Management

  33. Effective Date

  34. Electronic Benefit Transfer - EBT

  35. Electronic Blue Sheet - EBS

  36. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  37. Electronic Funds Transfer Act

  38. Emergency Banking Act Of 1933

  39. Employer Identification Number - EIN

  40. Energy Resources Conservation Board - ERCB

  41. Engagement Letter

  42. Environmental Impact Statement

  43. Environmental Protection Agency (EPA)

  44. Equal Employment Opportunity Commission - EEOC

  45. Equitable Relief

  46. Erroneous Trade

  47. Escrow Agreement

  48. Estoppel

  49. European Best Bid And Offer - EBBO

  50. Excess Loans

  51. Exchange Fees

  52. Exculpatory Clause

  53. Exempt Transaction

  54. Facilitating Payment

  55. Fair Debt Collection Practices Act - FDCPA

  56. Fair Funds for Investors

  57. Fair Housing Act

  58. Federal Covered Advisor

  59. Federal Energy Regulatory Commission - FERC

  60. Federal Reserve Regulations

  61. Fiduciary Rule

  62. Financial Action Task Force (FATF)

  63. Financial Industry Regulatory Authority - FINRA

  64. Financial Institutions Regulatory Act

  65. Financial Privacy

  66. Financial Responsibility Law

  67. Financial Services Modernization Act Of 1999

  68. FINRA BrokerCheck

  69. First To File Rule

  70. Floating Lien

  71. Food And Drug Administration - FDA

  72. Foreign Bank Supervision Enhancement Act - FBSEA

  73. Foreign Corrupt Practices Act

  74. Foreign Qualification

  75. Form 144

  76. Form 3

  77. Form 4

  78. Form 5

  79. Form T

  80. Full Disclosure

  81. Functional Regulation

  82. Glass-Steagall Act

  83. Green Card

  84. Guardian

  85. Handelsgesetzbuch - HGB

  86. Hell or High Water Contract

  87. Hold Harmless Clause

  88. Hospital Visitation Authorization

  89. Immediate Family

  90. Implied Authority

  91. Implied Contract Terms

  92. Incorporation

  93. Incorporeal Rights

  94. Insider

  95. Insider Buying

  96. Insider Information

  97. Insider Trading

  98. Insider Trading Act of 1988

  99. Insider Trading Sanctions Act Of 1984

  100. Insured Financial Institution

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